3173 is a UK firm of pensions experts with clients throughout the UK, serviced from offices in London, Belfast, Glasgow, Manchester, Birmingham, Bristol and Leeds. At 3173, we believe that we can positively influence, improve and support the communities in which we live and work. The strength of our business is in the foundations built by our employees based in each of our local offices. Our Culture Policy – ‘Above all else’ – portrays the way in which our business has grown in its 20 year history and we encourage all our staff to follow our ethos and goals.
We are excited about the future at 3173 Group. The industry in which we operate offers a dynamic and challenging environment and our excellent reputation is contributing to the growth of our business from an expanding portfolio of clients. We have aspirations to extend that client base, and deliver truly integrated solutions, through the use of our highly innovative software platform, Mantle, across our work.
Our unique award-winning approach to the provision of services has resulted in rapid growth over the last few years with us now employing over 200 members of staff across seven offices in Belfast, Birmingham, Bristol, Glasgow, Leeds, London and Manchester.
About You
3173 Group hiring a Compliance, Risk and Audit Officer who wants the opportunity to carve out a successful role within an award-winning and growing organisation. We have a growing portfolio of clients due to our excellent reputation within the industry and we are seeking to add to our successful team with an experienced individual.
- You will be motivated to make a meaningful contribution to our business and relish the opportunity to deliver high quality work aligned with their responsibilities.
- You will be well organised and initiative-taking, calm under pressure and have the ability to build strong relationships internally and externally as well as having the ability to work to demanding deadlines and targets.
- You will have the ability to communicate and positively influence and negotiate at all levels, both internally and externally.
Responsibilities & Criteria
The successful candidate will
- Conduct annual compliance reviews and provide a report to the Risk and Audit Committee.
- Contribute to regular reviews of compliance documentation and procedures.
- Support the business by providing a compliance view on matters.
- Contribute and monitor the Quality and Compliance Monitoring Plan. This includes ensuring that our plan captures the standard and clauses of ISO 9001, as well as ensuring internal audits are carried to evidence these standards and clauses.
- Undertake Internal Audits across Functional areas of the Group’s business processes, providing verbal and written feedback at all levels in order to facilitate maintenance of high standards and improvements in business performance.
- Facilitation of external Audits, specifically for ISO 27001 Information Security and ISO 9001 Quality Assurance. This includes being the auditee for the relevant Governance and Risk sections.
- Undertake Supplier Due Diligence, providing feedback to all Stakeholders in order to assess the suitability and resilience of our Key Suppliers.
- Contribute to the monitoring of an effective Business Continuity Plan/Disaster recovery plan by working with Stakeholders to update the plan and to ensure the plan is tested at least annually.
- Contribute to the effective implementation of our GDPR protocols, working with Stakeholders on document retention policies and monitoring the implementation of data cleansing and deletion.
- Take a key role in how we record, monitor and report incidents, in order to improve the quality of recording and to identify trends via Management Information so that recommendations can be made as part of a programme of continuous improvement.
- Contribute to regular analysis and review of Management Information within the Risk and Audit team to identify any trends that may impact or improve compliance, quality, or other areas in the organisation and agree a plan with stakeholders to embed lessons learnt.
- Support all of the Group’s Functions to map their processes and help with regularly reviews and updates of their processes.
- Contribute to the production of analysis and reporting to key stakeholders on the risk and compliance profile of our businesses.
Experience required for the role.
- Knowledge of UK financial regulations, including FCA and PRA rules.
- A strong quality management background obtained from significant and relevant experience in a similar role.
- Competence and experience in implementing/assessing/ monitoring ISO management standards, ISO 9001:2015 and or ISO 27001.
- Experience in auditing and monitoring operational processes for quality assurance purposes.
- Creative and analytical approach to solving problems.
- An eye for detail, and ability to be objective.
- Ability to deal with conflicting demands ensuring key priorities and deadlines are met through effective time-management.
- Excellent knowledge of computerised systems e.g. Microsoft Office/Windows applications.
- Excellent written and verbal communication skills, and the ability to influence the behaviour of colleagues at all levels in the Business.
- The ability to understand what will add value and what will not and the ability to tailor your approach as and when required.
- Experience in the financial sector, and the pensions industry in particular, would be advantageous.
We are an Equal Opportunity Employer.
Applying with a disability or long-term health condition?
As part of our belief that we benefit from the differences among us we are committed to increasing the representation of disabled colleagues and want to remove any barriers or challenges that get in the way of candidates with a disability or long-term health condition from applying to work with us.
If there is support or an adjustment that we can provide to enable you to be at your best during the recruitment and selection process, we encourage you to advise us in good time so that we may make suitable arrangements. We understand that being open with us may feel uncomfortable so please only share with us the information that you are comfortable to share, and rest assured that we will use this only to provide you with the right support. Any information you give us will be treated completely confidentially. To discuss this further please call 028 9041 2000 and ask to speak to a member of the People team.